10
Shared Docs
10
Same-Page
15 / 10
Mentions
ing Purchased Options IA Option Spreads [2 / Uncovered Put writing Uncovered Cal Writing 0 None Deutsche Bank Securities Inc.,a subsidiary of Deutsch Bank AG. conducts invOsIMer I banking and securities activities in the tinned States. III INIM T1 co-Nat-or27 OM 14 (05/11) 000404 052711 CONFIDENTIAL
Mart in, oat in royal or sounities. posted by me against short cyan paeitionS, may rid bo Included in my nurse account equity °flared ocenlarlatirsts Deutsche Bank Alex. Droves may. in ha use these deposits to secure said short onans with the OCC. — Option exercise notices assigned to Cautsche Bank Alex. Brown in r
Y_GM_00038742 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P 6(e) DB-SDNY-0001566 EFTA_00149351 EFTA01283070 Disks, TtrOhibiliont and General Information Concerning Option Trading understand that options transactions involve a high dowse of risk std offer no guarantee of gain er atsuraa against las. Accordingly, I weestand tha
Writing Purchased Options Option Spreads Vncovered Put Writing It Uncovered Call Writing 0 None Deutsch, Bonk Stscurines Inc ,• subsidiary of Deutsche Bank AC. conducts investment banking and SCOASOS activities n tno Unitas States CONFIDENTIAL 111111111,1110 "e-PlIsilf MINN CONFIDENTIAL — PURSUANT TO FE
Mange.. tither in Cads a securities, posted by me Rome shod option positions, may riot be triad in my margin account equity a interest Computations. Deutsche Bank Nex. Brown may, in turn, use mess deposits to sews said short petitions with the OCC. — Option exorcise notices assigoed to Deutsche Bank Alex. Brown i
1) SONY W87 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001611 EFTA_00149396 EFTA01283089 Risks, Prohibitions and General Information Concerning Option Trading I understand the options uunsactions invoke a high dunce of nsk and oiler no guarantee of gain or assurance aganst loss. Artordingly. I understand t
iem/nu In addition to an nr the Exchnopes FINRA a the Now York Stack Exrnange. I agree to abide by sawn policies after:nation of doing business with Deutsche Bank Alex. Brows.. t UndeenAnd that these policies include but are not Muted to the Naming: — Settlement dale for dl option trades is the business day folln
dline. — Mama caw in roan Or menties. pasted by rile against don option ~ions. may null be landed in my asan oCONIM enmity er interest imputations. Deutsche Bank Ma &own may. in an use then dronSits to secure said short posher's with two OCC. — Option exaose notas assigned to Deutsche Bank AM. Brain in respect ol
14 (09 ill 006404.061011 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001566 EFTA_000 15040 EFTA00165818 Risks, Prohibitions and General Information Concerning Option Trading I 'remise that options transactions involve a high degree d risk and Offer no guarantee of gain a assurance against loss, Accordingly. I understand
nt, including the right to buy andice sea short or short exempt la my account and risk any part a all of the shares regimented by option endorsed by Deutsche Bank Alex. grovel fee my account. or to buy for my account arid rot any puts anCYCW COOS as Deutsche Bank Aim. Brown may deem neoessary la its protection. I F
an settlement date. 4. I understand that their requirements mist in connection with certain options and I agree to meet all noggin calls as meta by Deutsche Rank Max. Brown. I co derstand that Deutsche Book Alex Brown in computing the margin requirements for option positions. may impose a higher margin requir
Risks, Prohibitions and General Information Concerning Option Trading I understand that options transactions involve a high degree of risk and offer no guarantee of gain or assurance against loss. Ace:tangly. I underst
t are not armed to the following: — SeMernent date for all option trades is the business day following grade date. Notwithstanding this provision, Deutsche Bank Alex. Brown mey, in its discretion, elect not to accept purchase mikes in options unless cash equal to the purchase price has first been deposited in my
her or not such orders are executed. 6 I understand that options may be listed on one or more Exchanges and that if no Exchange is specified by me, Deutsche Bank Aim. Brown will use as dustup, in routing my aerie!. 7. thereby authorise you in your sole discrePon and with notification to me (Or in the event of my
Gar Risks, Prohibitions end General Information Concerning Option Trading I understand that options transactions invohd a high degree of risk and otter no guarantee of gain or assurance against toss. Accordingly. I underst
nt indudIng t o nght to buy andlot sea sure ee short exempt. Ice ins account and Milt any pan or all el the Waled toproserted Dy options endorsed by Deutsche Bank Alex. Boson Inr my account, or to thy for my account and risk any puts andlot al's as Deutsche Berk Ala. kown may dear. necco.0ry lot its protection. I f
Y_GM_00037963 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED R. GRIM. P. 6(e) DB-SDNY-0000787 EFTA_00 148572 EFTA01282472 Risks, Prohibitions and General Information Concerning Option Trading I understand that options vennadiorn Involve a nigh degree Of Pk end Cotter no guaranies* of gain a' assurance spend loss Accordedly. I understand t
ept fa noneguity options, which settle for cash on the day of assignment/ and that 1 am obligated to deliver the underlying stock or required ash to Deutsche Bank Alex. Brawn MIDI& than settlement date. 4 1 understand that margin requirements exist en cantata with certain options and I agree to meth all margin cal
00038825 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001649 EFTA_00 149434 EFTA01283127 t. Risks. Prohibitions end General Information Concerning Option Trading I understand that options transactions invoke a high degree of risk and offer no guarantee of gain or assurance against ioss Accordingly. d understa
. (also referred to herein as 'Deutsche Bank Alex. Brown") to verify any representation contained therein, at its discretion. I will promptly notify Deutsche Bank Atex. Brown, in writing, of any material change in the above-stated information. t acknowledge that I may obtain an actions clearing corporation prospect
ta Min 00640a °Mit CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001649 EFTA_000 15 1 23 EFTA00165901 4. Risks, PCOhit/ItiOnS and General Information Concerning Option Trading I understand ttgd options transactions invcthe a high degree of risk and otter no guarantee of gain or eleuranCe against loss Accordingly. I underst
t I hen firm deposited in my account either the required merges or unrestricted negotiable shorts of the enderlying stock in an sincere specified by Deutsche Bank Alex. Brown - DeutsChe Bank No. Brown may refuse orders to trade option, in my account it there are restrictions against my account, meluting restrictio
14 (05f11) 001404.05 to 1 i CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Iplat9A111156 EFTA_00020026 EFTA00169753 Risks, Prohibitions and General Information Concerning Option Trading I wierstand that options transactions involve a high degree of risk and offer no guarantee of gain or assurance against loss. Accordingly, I underst
ere restrictions agaiett my account, including MISSOCbCan regarding leading in tho underlying security, or for arty other remora at its decreed* — Deutsche Bank Apex. Brown has set trading and exercise deacenes which correspond to deadlines established by the 00C and vial accept nO responsiblitY for derdelien of
Risks,'Prohibitions and General Information Concerning Option Trading I understand that opttns transactions involve a high degree of risk and offer no guarantee of gain or assured* against loss. Accordingly, I understa
Entities connected to both Deutsche Bank and General Information Concerning Option Trading

Jeffrey Epstein
PERSON
Julie K. Brown
PERSONDeutsche Bank Alex. Brown
ORGANIZATIONDeutsche Bank Securities Inc.
ORGANIZATIONAlex Brown
ORGANIZATIONHarry Beller
PERSONSouthern Trust Company
ORGANIZATIONthe State of New York
LOCATIONBank Alex. Brown
ORGANIZATION
John Brennan
PERSON
St Thomas
LOCATIONAlex. Brown
PERSONJeanne Brennan
PERSON
Exchange
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONOwner Information
ORGANIZATIONthe Options Clearing Corporation Disclosure Document
ORGANIZATIONFourth Account Owner
ORGANIZATIONBreen
PERSONJoint Account Supplement
ORGANIZATION